Finra Jobs in Helotes

Manager, Regional Compliance Officer The candidate will serve as a Regional Compliance Officer dedicated to a specific region of the broker/dealers footprint and responsible for providing advice and guidance with regard to both securities and investment advisory activities. Will work closely with regional sales supervisory management in assisting them in maintaining compliance with both the rules and regulations of the securities industry in addition to CI firm po... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Compliance Attorney - Investment Adviser The candidate must be licensed in Texas. Solid academic credentials are required. Should have 5+ years of investment adviser compliance experience, preferably in a corporate setting. Experience in performing compliance reviews, assessing and monitoring programs, and policy and procedure reviews is essential. Series 7 / Series 24 licensure a plus. Knowledge of federal and state investment adviser laws and regulations, includin... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Chief Compliance Officer The candidate will develop, train, and manage an effective compliance team to maintain the overall compliance program and ensure the firm's compliance with all FINRA and SEC rules and... regulations. This position serves as a principal adviser to senior management of the broker-dealer by providing necessary advice, training and risk assessment pertaining to all of the firm’s broker/dealer activities. The position is responsible for implementing all re... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

and Chief Compliance Officer Duties: Be a key part of the leadership team, offering advice to the firm’s principals from a legal, regulatory, and compliance perspective. Work with senior leaders and outside counsel to register Newco as an investment advisor and broker/dealer, and be responsible for all ongoing and annual regulatory updates and filings. Work with senior leaders and outside counsel to register Newco’s fund of funds on Form N-2 and be responsible for on... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

and Chief Compliance Officer Duties: The candidate will work with senior leaders and outside counsel to register Newco as an investment advisor and broker/dealer, and be responsible for all ongoing and annual regulatory updates and filings. Work with senior leaders and outside counsel to register Newco’s fund of funds on Form N-2 and be responsible for ongoing legal work related to the funds, including annual updates of fund registration statements, shareholder repor... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Information: The salary for this role is competitive and commensurate with experience. Business Execution Consultant – Escalation Review Team read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Marketing Compliance Paralegal / Analyst The candidate should have 2-3 years of compliance/regulatory paralegal experience. Must have strong research and writing experience, prior experience with FINRA matters, organizational skills, and... effective time management skills. Note: This is a 6+ months contract position.... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Lawyer The candidate has been registered with FINRA in the past 2... years, with a series 7 or 24 registration, and has experience in broker-dealer compliance, supervision and audit or risk management functions. Duration: 6 months.... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here